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Business, 30.06.2020 18:01 abbydamaso5048

A registered representative at a member firm only deals in stocks and other equity investments. The registered representative helps an associate at that firm negotiate an underwriting of municipal bonds with a municipal issuer official that he knows very well from other business dealings. He does this as a 1-time event and is paid a finder's fee for his help. Which statement is TRUE?

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A registered representative at a member firm only deals in stocks and other equity investments. The...
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